Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tawny? Claim Your ProfileTawny Britton is a financial advisor with over 17 years of experience in the financial services industry. Tawny is a Certified Financial Planner and currently works as a Registered Representative for Morgan Stanley. Previously, Tawny has worked for several other reputable firms including WELLS FARGO CLEARING SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., WELLS FARGO ADVISORS, LLC and CHASE INVESTMENT SERVICES CORP. Tawny is registered with the Financial Industry Regulatory Authority (FINRA) and holds licenses for Series 6, 7, 63 and 65. Tawny is able to provide financial advice to a wide range of clients, including individuals, families, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
10/28/2019 - Present
Morgan Stanley (Santa Rosa CA)
CA
05/27/2016 - 11/04/2019
WELLS FARGO CLEARING SERVICES, LLC (SANTA ROSA CA)
TX
12/05/2014 - 05/31/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUSTIN TX)
TX
06/10/2013 - 10/28/2014
UBS FINANCIAL SERVICES INC. (AUSTIN TX)
TX
01/03/2011 - 06/11/2013
WELLS FARGO ADVISORS, LLC (AUSTIN TX)
TX
07/30/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (AUSTIN TX)
TX
11/17/2009 - 07/28/2010
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
TX
09/28/2006 - 10/28/2009
WELLS FARGO INVESTMENTS, LLC (AUSTIN TX)
TX
07/06/2005 - 09/20/2006
CHASE INVESTMENT SERVICES CORP. (ROUND ROCK TX)
IL
06/27/2002 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IA
Issued 07/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2005
Series 7 - General Securities Representative Examination
BC
Issued 06/26/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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